Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

View Dispositions
View Opinions and Adjudicatory Orders

Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date ENFORCEMENT ACTIONS
Florida Court Orders Brazilian Nationals to Pay Over $128 Million for Fraudulent Commodity Pool Scheme
Federal Court Orders International Enterprise to Pay Over $451 Million for Global Binary Options Fraud
Federal Court Orders Lions of Forex and Owner to Pay $685,000 For Foreign Currency Fraud
Mosaic Exchange Ltd. and CEO Ordered to Pay Over $1.1 Million for Fraudulent Digital Asset Commodity Scheme
Gemini Trust Ordered to pay $5 Million for Making False or Misleading Statements, Omissions to the CFTC
Federal Court Orders Minnesota Man and Two Companies to Pay Over $2 Million for Futures Fraud and Misappropriation
Los Angeles Federal Court Orders Five Individuals to Pay Over $5 Million for Digital Asset Fraud and Misappropriation Scheme
Federal Court Orders North Carolina Companies and Their Owners to Pay Over $5.3 Million for Forex Fraud
CFTC Charges Washington State Pastor with Fraud, Misappropriation in Multilevel Marketing Scheme Targeting Hispanic Americans
Federal Court Orders Defendant to Pay More Than $2 Million for Operating Commodity Pool Fraud Scheme